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12. BKMS®
Experience Days Begrüßung, Status Quo und
unsere gemeinsame Vision
2
Agenda
1. EQS Group
2. Unsere Sicht auf Compliance
3. Compliance COCKPIT
4. Grußwort
5. Q&A
EQS Group
3
4
Vereintes
Produkt-Portfolio
und -Entwicklung
Über 20 Jahre
Compliance Know-how
Gemeinsame
Vision
Der perfekte „Fit“ für unsere Kunden
5
Wir in der EQS Group sind davon
überzeugt, dass Integrität und radikale Transparenz den wichtigsten Wert aller Organisationen schaffen:
VERTRAUEN
Wir in der EQS Group sinddavon überzeugt, dass Integrität und
radikale Transparenz den wichtigsten Wert aller Organisationen schaffen:
VERTRAUEN
Unsere Überzeugung
6
» EQS Group ist der führende SaaS-Anbieter in
Europa für Globale Corporate Compliance und
Investor Relations Lösungen «
Unser Ziel 2025
▪ Produkte und Services
Corporate Compliance
Inv estor Relations
▪ Kunden
>3,700 SaaS, >4,300 Filing
▪ MitarbeiterInnen
>550
▪ Gründung
2000 in München (Headquarter)
▪ Listing
Frankfurt (Scale)
▪ Management
Achim Weick (Gründer & CEO)
Christian Pfleger (COO)
André Silv ério Marques (CFO)
Marcus Sultzer (CRO)
Juan Antonio Galan Martinez (CTO)
Kai Leisering (MD Corporate Compliance
& Business Keeper)
Übersicht EQS Group
Investm. f. langfr. Investoren
Danske Bank A/S
Berenberg
EIFFEL INVESTMENT GROUPS.A.DZ Privatbank S.A.
Allianz Global Investors
Free Float
8
Aktionärsstruktur
Gründer & CEO Achim Weick
M anagement & Aufsichtsrat
9
Gemeinsame Werte, die uns leiten
10
Unsere Sicht auf
Compliance
11
Anforderungen steigen
Rechtlich
Knappe Budgets
Digitale Generation
Datenschutz und -sicherheit
Audit-Erfordernisse
Passende Maßnahmen
Effizienz
Überblick über alle Dimensionen
Moderne Ideen und Tools
Anbieter bündeln
Interaktion und Datenabgleich
Unsere Sicht auf Compliance
12
Compliance COCKPIT
13
DA SHBOARDS & REPORTING
T HIRD PARTY DUE
DI LIGENCE
PO LICY MANAGEMENT
RI SK ASSESSMENT /
M A NAGEMENT
CO NFLICTS OF INTEREST
G I FTS & ENTERTAINMENT
W HISTLEBLOWING +
CA SE MANAGEMENT
T RAINING +
CO MMUNICATION
Das EQS Compliance COCKPIT
4Kai Leisering
INTEGRITY LINE 4Kai Leisering
4Kai LeiseringINTEGRITY LINE
RISK MANAGER POLICY MANAGER THIRD PARTY MANAGER APPROVAL MANAGER INTEGRITY LINE ENGAGEMENT INTELLIGENCE DATA CENTER
4 2 5 1
4Kai Leisering
Welcome, Kai LeiseringSMCom pliance Officer
VA Victor Hugo Archambeault has updated Risk 19-472.
3 m inutes ago
CL Claas Lutzen
Request Gift from business partner, China set to Approved.
2 hours ago
HS
JC
Request Invitation from business partner, Hongkong set to Approved.
2 hours ago
Request Gift from business partner, Saudi Arabia set to Declined.
3 hours ago
Hansueli Stächli has sent a message to the reporter in Case 19-0272.
7 hours ago
Joy ce Clarkson changed the status in Case 18-0172 to Investigation concluded.
2 days ago
AM Andreas M eier
Business partner A spen Clifford McHassingTyre Holdings Ltd. set to Medium Due Diligence.
3 days ago
Business partner South & Cliff Partners Mining Plc. Set to High Due Diligence.
3 days ago
Activity Stream
My tasks
Request Invitation from business partner, Germany
waits for y our approval.
Risk 18-053 is due for review and assigned to y ou.
Risk 19-213 is due for review and assigned to y ou.
+ 17 m ore tasks. See all tasks »
My calendar
At a glance
827 Risks
93 Policies
32,412 Business Partners
2,723 Requests
254 Cases
Filter: ActiveShow al l
EQS Compliance Blog
Board Evaluations: Let’s focus on the evidence!October 01, 2019
W hat Companies Need to Know about the EU W histleblowing Directive
RISK MANAGER POLICY MANAGER THIRD PARTY MANAGER APPROVAL MANAGER INTEGRITY LINE ENGAGEMENT INTELLIGENCE DATA CENTER
4 2 5 1
4
DATA CENTER
Kai Leisering
Welcome, Kai LeiseringSMCom pliance Officer
VA Victor Hugo Archambeault has updated Risk 19-472.
3 m inutes ago
CL Claas Lutzen
Request Gift from business partner, China set to Approved.
2 hours ago
HS
JC
Request Invitation from business partner, Hongkong set to Approved.
2 hours ago
Request Gift from business partner, Saudi Arabia set to Declined.
3 hours ago
Hansueli Stächli has sent a message to the reporter in Case 19-0272.
7 hours ago
Joy ce Clarkson changed the status in Case 18-0172 to Investigation concluded.
2 days ago
AM Andreas M eier
Business partner A spen Clifford McHassingTyre Holdings Ltd. set to Medium Due Diligence.
3 days ago
Business partner South & Cliff Partners Mining Plc. Set to High Due Diligence.
3 days ago
Activity Stream
My tasks
Request Invitation from business partner, Germany
waits for y our approval.
Risk 18-053 is due for review and assigned to y ou.
Risk 19-213 is due for review and assigned to y ou.
+ 17 m ore tasks. See all tasks »
My calendar
At a glance
827 Risks
93 Policies
32,412 Business Partners
2,723 Requests
254 Cases
Filter: ActiveShow al l
EQS Compliance Blog
Board Evaluations: Let’s focus on the evidence!October 01, 2019
W hat Companies Need to Know about the EU W histleblowing Directive
DATA STORAGE
Sort by Residual Risk Export
Notifications
Business partner A spen Pharmaceuticals
Inc. is in assessment and assigned to you. 2 hours ago
Risk 19-142 is due for review
and assigned to y ou. 1 day ago
M easure «Im plementing four-eyes
pr inciple for checking…2 day s ago
M easure Building a technical Chinese
W all between invoicing systems…2 day s ago
Request Gift to prospective client, China
was assigned to y ou.5 day s ago
Sophie M orand forwarded Case 19-0211
to y ou.8 day s ago
New message from the reporter in Case
19-0203.13 day s ago
RISK MANAGER POLICY MANAGER THIRD PARTY MANAGER APPROVAL MANAGER INTEGRITY LINE ENGAGEMENT INTELLIGENCE
4 2 5 1
List of Third Parties
Aspen Pharmaceuticals Inc.DISTRIBUTOR Aspen, CO, USAREVIEW
5 4 0Submit date: 12.11.2019
Last review: -
John Smith
M unich, Germany
Assistant to CEO 100%
LowRisk
QUESTIONNAIRES MESSAGES PERMISSIONSDUE DILIGENCE3 0 MITIGATION MEASURES
3 Yellow Flags
0 Red Flags
0 M atches
Risk Assessment
LowLow M edium High
Risk lev el changed to low on 13.11.2019 by M ax Mustermann
Approval
Approve Decline Cancel
Monitoring
Next review: 3 y ears
Responsible for review:
Owner
Approv ed on 13.11.2019by M ax M ustermann
No regular review
74/30 0
Risk Points
Compliance profile Create case
Internal questionnaire (John Smith)
1. General information
Company data Aspen Pharmaceuticals Inc.
130 W ood Rd, Snowmass Village, 81615, CO
USA
http://www.aspenpharmaceuticals.com
Principal contact person Phil ippa Person
Chief Procurement Officer
+1-89-50080079
Relatioship type Supplier
The business partner will perform services on behalf of MY COMPANY, or be authorized to represent M Y COMPANY vis-à-vis other parties (including authorities)
It is reasonable to expect that the business partner will come into contact with government officials when representing M Y COMPANY
There are other reason to believe that the relationship with this business partner might be critical with regards to compliance with applicable laws and regulations or our code of conduct
2. Business relationship
Start date 30.11.2019 End date None
3 0 Risk PointsSubmitted on: 12.11.2019
2
10
8
10
Start review
THIR D P ARTIES R EP OR TS S ETTIN GS
THIRD PARTY MANAGERTHIRD PARTY MANAGER 4Kai Leisering
List of Third Parties
Aspen Pharmaceuticals Inc.DISTRIBUTOR Aspen, CO, USAREVIEW
5 4 0Submit date: 12.11.2019
Last review: -
John Smith
M unich, Germany
Assistant to CEO 100%
LowRisk
QUESTIONNAIRES MESSAGES PERMISSIONSDUE DILIGENCE3 0 MITIGATION MEASURES
3 Yellow Flags
0 Red Flags
0 M atches
Risk Assessment
LowLow M edium High
Risk lev el changed to low on 13.11.2019 by M ax Mustermann
Approval
Approve Decline Cancel
Monitoring
Next review: 3 y ears
Responsible for review:
Owner
Approv ed on 13.11.2019by M ax M ustermann
No regular review
74/30 0
Risk Points
Compliance profile Create case
Internal questionnaire (John Smith)
1. General information
Company data Aspen Pharmaceuticals Inc.
130 W ood Rd, Snowmass Village, 81615, CO
USA
http://www.aspenpharmaceuticals.com
Principal contact person Phil ippa Person
Chief Procurement Officer
+1-89-50080079
Relatioship type Supplier
The business partner will perform services on behalf of MY COMPANY, or be authorized to represent M Y COMPANY vis-à-vis other parties (including authorities)
It is reasonable to expect that the business partner will come into contact with government officials when representing M Y COMPANY
There are other reason to believe that the relationship with this business partner might be critical with regards to compliance with applicable laws and regulations or our code of conduct
2. Business relationship
Start date 30.11.2019 End date None
3 0 Risk PointsSubmitted on: 12.11.2019
2
10
8
10
Start review
THIR D P ARTIES R EP OR TS S ETTIN GS
THIRD PARTY MANAGERTHIRD PARTY MANAGER 4Kai Leisering
RISK MANAGER POLICY MANAGER THIRD PARTY MANAGER APPROVAL MANAGER INTEGRITY LINE ENGAGEMENT INTELLIGENCE DATA CENTER
4 2 5 1
Cybersecurity Policy
Confl icts of Interest
A ntitrust Policy
Social Media Policy
Gl obal Code of Conduct
Data Privacy Policy
A nti-discriminitation and
har assment policy
Gifts & Hospitality Policy
Suppl ier Code of Conduct
Global Code of Conduct Data Privacy Policy Gifts & Hospitality Policy Code de Conduite Social Media Policy
4Kai Leisering
Cybersecurity Policy
Confl icts of Interest
A ntitrust Policy
Social Media Policy
Gl obal Code of Conduct
Data Privacy Policy
A nti-discriminitation and
har assment policy
Gifts & Hospitality Policy
Suppl ier Code of Conduct
Global Code of Conduct Data Privacy Policy Gifts & Hospitality Policy Code de Conduite Social Media Policy
4Kai Leisering
RISK MANAGER POLICY MANAGER THIRD PARTY MANAGER APPROVAL MANAGER INTEGRITY LINE ENGAGEMENT INTELLIGENCE DATA CENTER
4 2 5 1
GLOBAL VIEW EUROPE + EMEA AMERICAS APAC ADD NEW VIEW
Download Print
COMPLIANCE TIMELINE
0%
20%
40%
60%
80%
100%
Q4 2019 Q1 Q2 Q3 Q4 2020 Q1 Q2 Q3 Q4 2021 Q1 Q2 Q3
Overall Risk Score
Global PolicyAttestation Rate
Global TrainingCompletion Rate
C CCar ve-out defense business01/01/2020
WORLD MAPS – TRAINING COMPLETION RATE CASE OVERVIEW BY CATEGORY
Russia –73/100
Attestation Rate: 67.3%
Declined requests: 23Incoming reports: 17
Measures due: 3
Bribery, corruption
Human Resources
Anti-trust problemsEmbezzlement,
misappropriation, theft
Data Protection, ITSecurity
Add new…
Integrity Line: New benchmarking data available (Whistleblowing Report 2021)
T hird Party Manager: New benchmarking data available(Consolidated Customer Benchmark Q3 2021)
Review benchmark Dismiss
Review benchmark Dismiss
INTELLIGENCE
S TATIS TICS BEN CHMAR KS GOALS R EP OR TS
4Kai Leisering
Integrity Line: Whistleblowing Report 2021
Description: Benchmark study conducted throughout 2021 involving 1,300 companies in Germany, Sw itzerland, UK and France, evaluating best practices in internal reporting systems and organization. Study conducted by FHGR Graubünden (Switzerland) in cooperation with EQS Group.
Resources: ▪ Whistleblow ing Report 2021 (full report)
Overall
benchmark evaluation:
Positive (8.23/10)
Overall, the most important KPIs in your reporting system are in line w ith the results from the benchmark report. There seem to be no major blind spots or issues in your current setup. Please check individual results to evaluate any potential improvements.
Covered in this benchmark report:
▪ Number/share of reports made anonymously
▪ Number of reports made by sector and geography
▪ Average duration of investigation process
▪ Average reaction time in w histleblower communication
Benchmark Ov erv iew Export
Number/share of reports made anonymously
Company AG: Benchmark:
INTELLIGENCE
S TATIS TICS GOALS R EP OR TSBEN CHMAR KS
4Kai Leisering
Integrity Line: Whistleblowing Report 2021
Description: Benchmark study conducted throughout 2021 involving 1,300 companies in Germany, Sw itzerland, UK and France, evaluating best practices in internal reporting systems and organization. Study conducted by FHGR Graubünden (Switzerland) in cooperation with EQS Group.
Resources: ▪ Whistleblow ing Report 2021 (full report)
Overall
benchmark evaluation:
Positive (8.23/10)
Overall, the most important KPIs in your reporting system are in line w ith the results from the benchmark report. There seem to be no major blind spots or issues in your current setup. Please check individual results to evaluate any potential improvements.
Covered in this benchmark report:
▪ Number/share of reports made anonymously
▪ Number of reports made by sector and geography
▪ Average duration of investigation process
▪ Average reaction time in w histleblower communication
Benchmark Ov erv iew Export
Number/share of reports made anonymously
Company AG: Benchmark:
INTELLIGENCE
S TATIS TICS GOALS R EP OR TSBEN CHMAR KS
Start review
4Kai Leisering
RISK MANAGER POLICY MANAGER THIRD PARTY MANAGER APPROVAL MANAGER INTEGRITY LINE ENGAGEMENT INTELLIGENCE DATA CENTER
4 2 5 1
4Kai Leisering
Welcome, Kai LeiseringSMCom pliance Officer
VA Victor Hugo Archambeault has updated Risk 19-472.
3 m inutes ago
CL Claas Lutzen
Request Gift from business partner, China set to Approved.
2 hours ago
HS
JC
Request Invitation from business partner, Hongkong set to Approved.
2 hours ago
Request Gift from business partner, Saudi Arabia set to Declined.
3 hours ago
Hansueli Stächli has sent a message to the reporter in Case 19-0272.
7 hours ago
Joy ce Clarkson changed the status in Case 18-0172 to Investigation concluded.
2 days ago
AM Andreas M eier
Business partner A spen Clifford McHassingTyre Holdings Ltd. set to Medium Due Diligence.
3 days ago
Business partner South & Cliff Partners Mining Plc. Set to High Due Diligence.
3 days ago
Activity Stream
My tasks
Request Invitation from business partner, Germany
waits for y our approval.
Risk 18-053 is due for review and assigned to y ou.
Risk 19-213 is due for review and assigned to y ou.
+ 17 m ore tasks. See all tasks »
My calendar
At a glance
827 Risks
93 Policies
32,412 Business Partners
2,723 Requests
254 Cases
Filter: ActiveShow al l
EQS Compliance Blog
Board Evaluations: Let’s focus on the evidence!October 01, 2019
W hat Companies Need to Know about the EU W histleblowing Directive
RISK MANAGER POLICY MANAGER THIRD PARTY MANAGER APPROVAL MANAGER INTEGRITY LINE ENGAGEMENT INTELLIGENCE DATA CENTER
4 2 5 1
27
Integrity Hub – das Portal für MitarbeiterInnen
29
Grußwort
30
Q&A
31
1 Was geschieht mit der BKMS-Technologie?
2 Bleibt der Standort Berlin bestehen?
3 Wird BKMS weiterhin als Produkt verkauft?
4 Wie steht es um Sicherheit und Datenschutz bei EQS?
5 Werden sich Ansprechpartner ändern?
6 Wird es zu kurzfristigen Migrationen der Produkte kommen?
7 Müssen neue Verträge unterzeichnet werden?
8 Welches Produkt soll ich nun kaufen, EQS oder BKMS?
FAQs zum Merger
32
Q&A
333333
Marcus Sultzer
Member of the Management Board, CRO
+49 (0)89 44 44 30-127
Kai Leisering
Managing Director Corporate
Compliance and Business Keeper
+49 (0)30 88 77 444 22
www.eqs.com
